The Rosenberg Case in Perspective-Its
Present Significance
Robert
L. Stern
In April
1951, Julius and Ethel Rosenberg were convicted under
the Espionage Act of 1917 for conspiring to obtain and
turn over to agents of the Soviet Union secret information
as to the construction of the atomic bomb. This information
had been obtained in 1944 and early 1945. The
testimony as to the continuance of the conspiracy until
1950, when the Rosen-bergs were indicted, after
the enactment of the Atomic Energy Act of 1946, related
in large part to their efforts to conceal their prior
conduct and to avoid arrest until they could escape
to the Soviet Union.[1]
They were
sentenced to death by District Judge Irving Kaufman,
now long a member of the Court of Appeals for the Second
Circuit. Before imposing sentence, Judge Kaufman had
consulted Circuit Judge Frank and District Judge Weinfeld,
who disagreed with each other as to the death penalty.
He also urged the United States Attorney "to solicit
the opinion of the Department of Justice." The reply
was, "There were differences all around among them,
but capital punishment for one or both was in not out."[2]
Judge Kaufman determined that the death sentences were
called for because:
your
conduct in putting into the hands of the Russians the
A-bomb years before our best scientists predicted Russia
would perfect the bomb has already caused, in my opinion,
the Communist aggression in Korea, with the resultant
casualties exceeding 50,000 and who knows but that millions
more of innocent people may pay the price of your treason.
Indeed by your betrayal you undoubtedly have altered
the course of history to the disadvantage of our country.[3]
My participation
in the case, which I argued in the Supreme Court on
June 18, 1953, in my capacity as Acting Solicitor
General of the United States, was during its last seven
days from June 13-19. I will not attempt to summarize
everything which occurred. Many volumes and articles
have been written on both sides of the case.[4]
Perhaps
the most objective analysis, which cited and reviewed
most of the others up to 1983, is The Rosenberg File:
A Search for the Truth, a 578-page volume by Ronald
Radosh and Joyce Milton. Professor Radosh describes
his introduction to the case as a young supporter of
the Rosenbergs who believed that, after the FBI and
other government records were disclosed at the insistence
of the Rosen-bergs' sons, the innocence of their parents
would be established. The subsequent study of many thousands
of those pages by Radosh, by then a professor of history,
concluded that, even though he still regarded himself
"as a man of the democratic Left," "historical truth
also had its claims even if some of that truth was unpleasant."[5]
Radosh
and Milton found the evidence compelling that Julius
Rosenberg "managed over a period of years to become
the coordinator of an extensive espionage operation
whose contacts were well placed to pass on information
on top-secret military projects in the fields of radar
and aeronautics," and that "Ethel Rosenberg probably
knew of and supported her husband's endeavors, and it
seems almost certain that she acted as an accessory."[6]
The
authors believe that "the Rosen berg spy ring was surprisingly
productive, given its origins, but it was never the
primary conduit of U.S. atomic secrets to the Soviets,"
that "the data stolen by David Greenglass, while not
without significance, was less important than that provided
by Klaus Fuchs"[7] and that "the government
was well aware of this." They assert tha:[8]
the real
reasons the federal prosecutors, the FBI, and the Atomic
Energy Commission wanted the Rosenberg case pursued
to the limits of the law... was the expectation, first
of all, that Julius Rosenberg could provide the names
of other amateur spies in important positions-- though
not necessarily connected to atomic research. And, secondly,
there was the very real desire to frighten other individuals
who might potentially lend themselves to such activities
in the future.[9]
Defendants,
of course, were no less culpable because someone else
had preceded them in stealing and disclosing vitally
important confidential information. Moreover, for law
enforcement officials to prosecute and seek heavy penalties
in order to deter others from committing similar serious
crimes is not improper. That cannot be said however
of the charge, which the authors thought clearly established,
that "the precipitous arrest of Ethel Rosenberg was
made for one reason and one reason only: so that she
could be held hostage in order to pressure her husband
into breaking his silence."[10]
Nevertheless,
the reason given by Judge Kaufman for imposing death
sentences suggests that he might not have done so if
he had known that the secrets of the atomic bomb had
previously been turned over to the Soviet Union by other
spies.[10a] The death sentence rested upon a literal
interpretation of the Espionage Act of 1917,[11] which
permitted capital punishment for espionage in time of
war. The stolen information was turned over to Soviet
agents during the last years of World War II, when Soviet
Russia was an American ally, not an enemy. That was
probably not the type of situation Congress had in mind
when it passed the statute. By the time of the indictment
in August 1950, however, North Korea had invaded South
Korea, with the approval and support of the Soviet Union,
and United States forces were engaged.
After the
Court of Appeals in New York, speaking unanimously through
Judge Jerome Frank, had affirmed the conviction and
sentences, 195 F. 2d 583 (1952), the Supreme
Court denied the petition for certiorari challenging
the Rosenbergs' conviction and sentences on October
13, 1952,[12] and a petition for rehearing on November
17.[13] A motion to vacate the judgment and sentence,
filed under 28 U.S.C. sec. 2255, was subsequently
denied by the District Court and the Court of Appeals,
and certiorari as to these orders was denied by the
Supreme Court on May 25, 1953 with Justices Black,
Frankfurter and Douglas dissenting.[14] An order of
the Court of Appeals staying the execution was vacated
at the same time. "Execution of the sentence was set
for the week of June 15th by the District Judge," and
"two further motions to vacate" the sentences were denied
by the District Court and the Court of Appeals early
in June.[15]
On June
12, an application to the Supreme Court to. grant a
stay was filed with Justice Jackson, the Circuit Justice
for the Second Circuit, who referred it immediately
to the full Court with a recommendation that it be argued
orally.[16] Although Justices Black, Frankfurter, Jackson
and Burton would have granted oral argument, a majority
of the Court (including Justice Douglas) refused to
hear such argument or to grant a stay on Monday, June
15, the last session of the 1952 Term.
A petition for rehearing of the May 25th denial of certiorari
was denied at the same time. Thus the Court had denied
the defendants' requests for relief six times by that
date.[17]
Justice
Frankfurter's notes state that on a conversation with
him on Tuesday, June 16, Justice Jackson had said "that
it was perfectly understood yesterday at conference
that in view of the Court's denial of habeas corpus
no individual Justice to whom application was made
would overrule the Court's determination."[18] Such
an informal, and on its face, reasonable agreement at
the conference could not have anticipated that new lawyers
would present an entirely new issue in the few days
remaining. Nor need it be treated as precluding a Justice
to whom such a question was presented from acting judicially.
Justice Douglas did not so regard it, and no other Justice
indicated that the subsequent agreement was a reason
for his vote to overrule Douglas's subsequent stay order.
Indeed, there is no reason to believe that any member
of the majority would have voted differently, agreement
or no agreement.
Justice
Frankfurter's memorandum had pointed out that "when
it was clear that the Rosenberg case would be
heard because of the memorandum [Douglas] kept it from
being heard." According to Justice Frankfurter, Justice
Jackson also had stated that:
every
time a vote could have been had for a hearing Douglas
opposed a hearing in open Court, and only when it was
perfectly clear that a particular application would
not be granted did he take a position for granting it.[19]
Frankfurter's
notes and the Court's orders indicate that was true,
that on several occasions when Jackson and Burton indicated
that they would join in providing the number of votes
necessary to grant a hearing by the Court, Douglas voted
the other way. Professors Parrish and Cohen[20] expressed
opposing views as to whether Jackson was justified in
believing that Douglas was improperly motivated. I am
impressed by Professor Cohen's caveat that "it is impossible,
of course to rebut [and I add, or prove] conclusively
an assertion about Douglas's state of mind."[21]
Whether or not the other Justices were annoyed
at Justice Douglas's conduct, and some of them may well
have been, there is no reason to believe that they would
otherwise have voted in favor of the Rosen-bergs.
It was in
this context that on Monday, June 15, Emanuel
Bloch of New York City and John Finerty of Washington
D.C. ,who had represented the defendants from the beginning
of the case, applied to Justice Douglas for a stay.
On the next day, after the Court had adjourned for the
summer, a petition for habeas corpus and a stay
was filed with Justice Douglas by different lawyers,
Fyke Farmer of Nashville and Daniel Marshall of Los
Angeles. They had had nothing to do with the case or
the defendants, but purported to act for one Edelman,
who described himself as "next friend" to the Rosen-bergs,
but who also had no connection to them.[22] In the usual
course, the application should have been submitted to
Justice Jackson, who was the Justice assigned to the
Second Circuit in which the case had been brought and
tried. Justice Douglas's autobiography states that he
"referred it to Jackson, who instantly responded by
saying that I should consider it in light of the lateness
of time and my imminent departure for the Far West."[23]
These lawyers presented a defense which several
months before they had submitted to Bloch and Finerty,
who were not impressed. The Espionage Act of 1917,[24]
upon which the indictment had rested, did not require
jury approval of a death sentence. The new claim was
that this provision had been superseded for atomic energy
cases by the provisions of the Atomic Energy Act of
1946[25] which did require jury approval. "The crux
of the charge [against the Rosenbergs] alleged overt
acts committed in 1944 and 1945,"[26] before that statute
was enacted. The alleged conspiracy continued, however,
until 1950.
Justice
Douglas allowed Farmer and Marshall, and government
counsel in opposition, to argue this question on Tuesday.
The Justice thought the point was a substantial one
which needed further consideration.[27] He asserted
that:
it is
law too elemental for citation of authority that where
two penal statutes may apply--one carrying death, the
other imprisonment--the court has no choice but to impose
the less hard sentence.[28]
He did not
mention the effect of a provision in the second statute
which on its face seems to provide the contrary. Section
10 (b) (6) of the 1946 Act stated that "This section
shall not exclude the applicable provisions of any other
laws, except that no Governmental agency shall take
any action under such laws inconsistent with the provisions
of this section."[29]
After Douglas
completed a draft opinion, according to his autobiography:
At
one o'clock in the morning l went out a back door and
drove my car to Fred Vinson 's apartment. After l told
him I had almost decided to issue the stay, we talked
for an hour. He tried to dissuade me, and I finally
decided to sleep on the matter and come to a decision
in the morning.[30]
On the morning
of Wednesday, June 17, Justice Douglas denied the stay
requested by counsel for the defendants, Bloch and Finerty,
since it raised only "questions already passed upon
by the Court."[31] But the Justice granted
the stay requested by counsel for Edelman. His order
stated:
I
will not issue the writ of habeas corpus. But
I will grant a stay effective until the question of
the applicability of the penal pro visions of sec.10
of the Atomic Energy Act to this case can be determined
by the District Court and the Court of Appeals, after
which the question of a further stay will be open to
the Court of Appeals or to a member of this Court in
the usual order.[32]
Differing
versions have appeared as to the details of what transpired
before the Chief Justice ordered the Supreme Court to
reconvene to review Justice Douglas's order. One report,
based on triple hearsay in an FBI memorandum, says that
Justice Jackson arranged for Attorney General Brownell
to see Chief Justice Vinson, apparently before Justice
Douglas's order and opinion were issued. My own recollection
is that the Attorney General and I called upon the Chief
Justice at his apartment to request that the Court be
reconvened in time to review Justice Douglas's ruling
before it effectively had postponed the order that the
Rosenbergs be executed that Friday. I had thought that
this occurred after we knew of the Douglas order, but
my memory (though not hearsay) is obviously not infallible
after 36 years, and there is no reason to doubt the
honesty of the writer of the FBI memorandum. We obviously
had some reason to believe that Douglas was about to
grant the stay. But it is of little consequence whether
the Attorney General decided to ask the Chief Justice
to reconvene the Court after the Chief was informed
by Justice Douglas himself that he had "almost decided
to issue the stay," or after the stay issued a few hours
later. Douglas was not concealing the fact that he was
giving the application serious consideration. I have
no recollection that Justice Jackson had previously
spoken to the Attorney General or to the Chief Justice
on the subject, but I am skeptical. I might not have
known about that. I am quite sure Jackson was not at
the meeting.
Although
for attorneys on one side of a case to argue the merits
before a judge without the knowledge or appearance of
the opponents is unethical, this principle does not
necessarily apply to an expert motion that a
hearing be promptly held when time is urgent. Temporary
injunctions or stays or orders dissolving stays are
not uncommonly granted for short periods until a full
court can be convened and can give a matter more thorough
consideration. The Attorney General was merely asking
the Chief Justice to convene the Court the next day,
not to decide anything or to set aside Justice Douglas's
order on his own. There would not have been time for
the normal filing of a written application with notice
to the opposing party or lawyers, who had themselves
obtained a hearing before Justice Douglas on short notice
the day before. Of course they were notified when the
order to reconvene was issued.
Certainly
as a matter of less hurried hindsight it is not at all
clear to me why immediate reversal of the Douglas order
was so important, why a delay of a few months would
have been so serious. As Justice Douglas subsequently
wrote:
Upholding
[my stay] would mean only that the District Court would
consider the question and rule on it, before fall the
Court of Appeals could pass on if, and
it would then be ripe for decision by us in October.[33]
The opinion
of the Chief Justice for the Court was not so optimistic.
He estimated that "the stay which had been issued promised
many more months of litigation in a case which had otherwise
run its full course."[34]
Why did
the majority believe it so important that the execution
of the Rosenbergs not be postponed? The reasons appeared
in opinions in which the majority of six joined. Justice
Clark's opinion stated:
The
defendants were sentenced to death on April 5, 1951.
Beginning with our refusal to review the conviction
and sentence in October 1952, each of the Justices has
given the most painstaking consideration to the case.
In fact, all during the past Term of this Court one
or another facet of this litigation occupied the attention
of the court. At a special Term on June 15, 1953, we
denied for the sixth time the defendants' plea.[35]
Justice
Jackson's opinion declared:
Thus,
after being in some form before this Court over nine
months, the merits of all questions raised by the Rosenbergs'
counsel had been passed upon, or foreclosed by denials.[36]
The last
batch of such motions, submitted by the Rosenbergs'
counsel, had been denied that Monday. In normal course,
the Court adjourned for the summer. To allow lawyers
who had no connection with a case or the parties, on
behalf of a "stranger" to the defendants, then to reopen
the case with a new issue was not merely highly unusual.
To permit prolongation by outsiders of a case which
had been before the Court so often and so recently would,
in the Court's words, run counter to the Court's "duty
to see that the laws are not only enforced by fair proceedings,
but also that the punishments prescribed by the laws
are enforced with a reasonable degree of promptness
and certainty."[37]
These factors
would have justified a refusal to reopen the case on
the application of a complete outsider. The Court did
not, however, merely dispose of the case on that procedural
ground. It explained why it would not go along with
Justice Douglas's order that the case be resubmitted
to the District Court.
The
question preserved for adjudication by the stay was
entirely legal; there was no need to resort to the fact-finding
processes of the District Court; it was a question of
statutory construction which this Court was equipped
to answer. We decided that a proper administration of
the laws required the Court to consider that question
forthwith.[38]
Justice
Douglas and other commentators give the impression that
the motivation for what was asserted by others to be
the persecution of the Rosenbergs was the nation's anti-Communist
hysteria, to which six members of the Supreme Court
succumbed. There was also a vast amount of contemporaneous
publicity on the other side, not only by Communist or
Communist influenced organizations but by strong advocates
of civil rights and opponents of capital punishment.
Radosh and Milton years later declared that "Bloch had
to know that the Communist element, which by now dominated
the Committee [to Secure Justice], could only be satisfied
by the Rosenbergs' martyrdom."[39] Justice
Douglas's "own impression was that Bloch never raised
the point because the Communist consensus of that day
was that it was best for the cause that the Rosenbergs
pay the extreme price. That is a harsh thought; but
it must be remembered that Stalin was still in power."[40]
Radosh and
Milton's analysis of the contention that Bloch's failure
to press the Farmer-Marshall argument on the Court had
an ulterior motive leans toward supporting that position
but still suggests uncertainty on their part.
I am not sure what to conclude from their statement
that
Bloch
did not want the Rosen beings dead, at least not consciously,
as some outsiders had come to believe. He had long come
to love Julius and Ethel, and in his love he paid them
the compliment of seeing them as they saw themselves:
as heroes willing to sacrifice their lives to frustrate
a government witch-hunt. Bloch's emotional identification
with the Rosenbergs had become his own prison, one from
which there was no logical means of escape.[42]
All this
of course is highly speculative, although there is good
reason to believe that the Communist Party was less
interested in saving their lives than in benefiting
from widespread publicity that the United States government
was persecuting them.[43] A more likely
conclusion, at least in my opinion, is not that Bloch
was devious, but that he never advanced the argument
presented to him several times by Fyke Farmer and Daniel
Marshall because he believed the point had no merit.
As to that, he was not alone. His two co-counsel, John
F. Finerty and Gloria Agrin, agreed at least at the
beginning, as did six members of the Supreme Court as
well as government counsel. It is highly unlikely that
any of the Justices would have changed their minds if
they had heard additional argument in the case. This
justifies Bloch's judgment that the point was not a
winning one. It does not mean that the point should
not have been argued. Counsel should not abandon points
which persuade one Supreme Court Justice and leave two
others in substantial doubt. No sensible lawyer would,
if he could foresee that result.
The case
was argued on June 18, 1953 by me for the government
and by Bloch, Finerty, Marshall and Farmer for the Rosenbergs.
There was no written transcript, and I have no memory
of what was said except for one comment by Justice Black
that I did not appear to be as thoroughly prepared as
I usually was. That, of course, was correct, since no
one had known until the day before that an argument
would be held. As to that, Justice Black's dissenting
opinion stated:
I
do not believe that Government counsel or this Court
has had time or an adequate opportunity to investigate
and decide the very serious question raised in asking
this Court to vacate the stay granted by Mr. Justice
Douglas. The oral arguments have been wholly unsatisfactory
due entirely to the lack of time for preparation by
counsel for the Government and counsel for the defendants.
Certainly the time has been too short for me to give
this question the study it deserves.[44]
In rejecting
the argument that the 1946 statute superseded the older
one, Justice Clark's concurring opinion invoked principles
which the Court had followed in a number of prior cases
in which a criminal defendant might have violated two
somewhat different but overlapping statutes. As stated
in Justice Clark's concurring opinion for six Justices:
Where
Congress by more than one statute proscribes a private
course of conduct, the Government may choose to invoke
either applicable law: 'At least where different proof
is required for each offense, a single act or transaction
may violate more than one criminal statute." Unites
States v. Beacon Brass Co. ,344 U.S. 43, 45(1952);
see also United States v. Noveck, 273 US. 202,
206 (1927); Gavieres v. United States, 220 U.S.
338(1911). Nor does the partial overlap of two statutes
necessarily work a pro tanto repealer of the
earlier Act. Ibid. "It is a cardinal principle
of construction that repeals by implication are not
favored. H/hen there are two acts upon the same subject,
the rule is to give effect to both if possible.... The
intention of the legislature to repeal 'must be clear
and manifest...It is not sufficient.... 'to establish
that subsequent laws cover some or even all of the cases
pro vided for by [the prior act]; for they may be merely
affirmative, or cumulative, or auxiliary.' There must
be a positive repugnancy between the pro visions of
the new law, and those of the old. United States
v. Borden Co., 308 US. 188, 198 (1939). Otherwise
the Government when charging a conspiracy to transmit
both atomic and non-atomic secrets would have to split
its prosecution into two alleged crimes.[45]
Whether
a statute is to be construed as superseding another
is, of course, a matter of legislative intent. Congress
did not leave its intention in doubt in the Atomic Energy
Act of 1946. As the opinion states:
Section
10 (b) (6) of the Atomic Energy Act itself moreover,
expressly provides that sec. 10 "shall not exclude the
applicable provisions of any other laws...," an unmistakable
reference to the l9l7EspionageAct. Therefore this section
of the Atomic Energy Act, instead of repealing the penalty
provisions of the Espionage Act, in fact preserves them
in undiminished force. Thus there is no warrant for
superimposing the penalty provisions of the later Act
upon the earlier law.[46]
Certainly
this provision of the 1946 statute should be controlling
when the critical conduct charged against the defendants
occurred before the passage of that Act. As Justice
Clark's opinion further stated:
In
any event, the Government could not have invoked the
Atomic Energy Act against these defendants. The crux
of the charge alleged overt acts committed in 1944 and
1945, years before that Act went into effect. While
some overt acts did in fact take place as late as 1950,
they related principally to defendants' efforts to avoid
detection and prosecution of earlier deeds. Grave doubts
of unconstitutional ex post facto criminality
would have attended any prosecution under that statute
for transmitting atomic secrets before 1946. Since the
Atomic Energy Act thus cannot cover the offenses charged,
the alleged inconsistency of its penalty provisions
with those of the Espionage Act cannot be sustained.[47]
At this
point the opinion cited an article written several years
before the Rosenberg case by the former counsel
to the Senate Subcommittee on Atomic Energy, who stated
that the phrase "applicable provisions of any other
laws, while general, must be read as pointing particularly
to the Espionage Act."[48] After quoting
this statement, the Government's brief, for which I
was responsible, reviewed the legislative history of
the Atomic Energy Act in some detail, and concluded
that it supports a literal interpretation of Section
10 (b) (6). Justice Douglas's opinions did not mention
this provision at all, much less its history.
Justice
Frankfurter's dissent,[49] however, relies on other
passages from Mr. Newman's article as suggesting the
contrary. Even though enough time has passed to permit
me to view the subject reasonably objectively, I recognize
that I still may not be an impartial observer. There
would seem to be no reason at this late date to review
the historical material in depth in an effort to attempt
to determine which interpretation of the statute was
correct, or to do more than state that the statutory
language supports Justice Clark's opinion for the Court,
and that reasonable judges and lawyers have disagreed,
possibly depending on their original biases. If a majority
of the Court had thought the question doubtful, they
might have decided the case differently, or at least
allowed more time.
The assumption
of some commentators that the Justices who composed
the majority of the Court and persons who agreed with
them were acting in bad faith or with political or other
improper motivation, is in my opinion, no more justified
than would be the contrary position that all those who
believed the death sentence unwarranted were Communist
sympathizers.
The answer
to the question as to which of two criminal statutes
applies to a conspiracy which occurred both before and
after the second statute was passed will ultimately
depend upon the language and history of the two statutes.
It is not likely to recur in the precise circumstances
presented by the Rosen berg case. It can no longer
arise with respect to the two statutes involved. The
death penalties were removed from the Atomic Energy
Act in 1969, primarily because the Supreme Court in
United States v. Jackson 390 U.S. 576 (1968),
had invalidated a similar provision in the Federal Kidnapping
Act. The Court there held that "permitting imposition
of the death penalty only upon defendants who assert
their right to be tried by a jury, discourages assertion
of, and thereby imposes an impermissible burden upon
the exercise of, a constitutional right."[50] The anomalous
result was that a provision designed to insure that
defendants could not be sentenced to death without a
jury's approval had the effect of invalidating death
sentences completely.
More recently,
the death penalty provisions of the Espionage Act were
found by the Ninth Circuit[51] to be inconsistent with
the principles approved by the Supreme Court in Furman
v. Georgia,[52] and Gregg v. Georgia,[53]
Those cases established that capital punishment
can be constitutional only when the governing statute
provides the sentencing authority with adequate standards
and information to guide its exercise of discretion.
The Court of Appeals noted that the Department of Justice
agreed that the Espionage Act clearly did not satisfy
that standard.
The aspect
of the Rosenberg case which still has significance
is the Court's determination that lawyers having no
connection with a case or its parties should not be
permitted to participate to the extent of raising questions
which counsel for the parties either deliberately or
inadvertently failed to present.
With respect
to this, Justice Jackson stated, for the majority of
six:
This is
an important procedural matter of which we disapprove.
The stay was granted solely on the petition of one Edelman,
who sought to appear as "next friend" of the Rosen-bergs.
Of course, there is power to allow such an appearance,
under circumstances such as incapacity of the prisoner
or isolation from counsel, which make it appropriate
to enable the Court to hear a prisoner's case. But in
these circumstances the order which grants Edelman standing
further to litigate this case in the lower courts cannot
be justified.
Edelman
is a stranger to the Rosen-bergs and to their case.
His intervention was unauthorized by them and originally
opposed by their counsel. What may be Edelman's purpose
in getting himself into this litigation is not explained,
although inquiry was made at the bar.... The attorneys
who appear for Edelman tell us that for two months they
tried to get the authorized counsel for tile Rosen bergs
to raise this issue but were refused. They also inform
us that they have eleven more points to present hereafter,
although the authorized counsel do not appear to have
approved such issues.
The
Rosenbergs throughout have had able and zealous counsel
of their own choice. These attorneys originally thought
this point had no merit and perhaps also that it would
obscure the better points on which they were endeavoring
to procure a hearing here. Of course, after a Justice
of this Court had granted Edelman standing to raise
the question and indicated that he is impressed by its
substantiality, counsel adopted the argument and it
became necessary for us to review it [Emphasis supplied]
Every
lawyer familiar with the workings of our criminal courts
and the habits of our bar will agree that this precedent
presents a threat to orderly and responsible representation
of accused persons and the right of themselves and their
counsel to control their own cases. The lower court
refused to accept Edelman's intrusion but by the order
in question must accept him as having standing to take
part in, or to take over, the Rosenbergs' case. That
such disorderly intervention is more likely to prejudice
than to help the representation of accused persons in
highly publicized cases is self-evident. We discountenance
this practice.[54]
As the underscored
sentence indicates, the Court found it necessary to
decide the new point because at the end it was also
pressed by the Rosenbergs' counsel.
The significance
of the Court's disapproval of what happened in Rosenberg
becomes apparent if one considers what the effect
would have been if the Court had said the opposite--that
any lawyer has a right to present, and require a court
to pass upon, any argument in any case in which a lawyer
who represents no party may be personally interested,
particularly after the available remedies had been exhausted
in all the appellate courts.
Lawyers
not representing parties to a case have, of course,
long been able to present their positions as amici
curiae, usually by obtaining leave of court, or,
in some courts, the consent of the parties. Lawyers
may also, of course, move on behalf of non-parties with
an interest in a litigation to intervene and thereby
become parties. And, as Justice Douglas subsequently
stated in discussing the Rosenberg case in his
autobiography:
There
is in the law the "next friend" doctrine, especially
applicable to habeas corpus proceedings. This
procedure serves to allow friends of prisoners who may
not be able to reach a court to bring an action on account
of the prisoners.[55]
This in
substance was what Justice Jackson had said in his Rosenberg
opinion about prisoners who are incapacitated or
isolated from counsel,[56] and what Chief
Justice Burger said in his opinion in Gilmore v.
Utah (quoted below) about a person unable to seek
relief on his own behalf. But the Rosenbergs had counsel
acting on their behalf, and neither Edelman nor Fyke
Farmer, who were unconnected to them in any way and
did not know them, could satisfy such a test unless
anybody can claim to be everybody's "next friend." Even
though courts have not construed the phrase very strictly
to require a real "friend," it cannot be read that broadly
without becoming a nonsensical fiction. Thus apart from
the special circumstances in which outside help is essential,
outside lawyers do not have the status of parties. They
are not entitled to make either new motions on behalf
of a party, to request relief after the parties have
exhausted all available remedies, or to ask that a case
be reopened to consider questions not previously raised
by competent counsel.
I recognize
that few lawyers are likely to try to interject themselves
into cases in which they do not represent an interested
party otherwise than by moving for leave to intervene
or file, an amicus brief. In recent years the
problem seems to have arisen only in the rare situations
in which a defendant does not wish to challenge a death
sentence, presumably because he fears a life in prison
even more. In Gilmore v. Utah,[57] the
Supreme Court held that a mother had no standing to
object to a death sentence imposed upon a competent
adult son who through his attorneys and in person made
"a knowing and intelligent waiver" of his right to appeal.
The concurring opinion of Chief Justice Burger and Justice
Powell declared, citing Rosenberg that a court
would have jurisdiction over a "next friend" application
"only if it were demonstrated that [the party] is unable
to seek relief in his own behalf."
More recently,
in Whitmore v. Arkansas,[59] decided in April
1990, seven members of the Court agreed that the limitation
of the jurisdiction of federal courts to "cases" and
"controversies" precluded institution of suits by plaintiffs
who had no personal relationship to the issue presented.
A prisoner sentenced to death was there found to have
no constitutional standing to challenge a death sentence
imposed upon another prisoner who had made it plain
that he did not desire to appeal from the sentence against
him. Chief Justice Rehnquist, speaking for the Court,
cited Justice Jackson's concurring opinion for six Justices
in the Rosenberg case as discountenancing the
practice
of granting "next friend" standing to one who was a
stranger to the detained persons and their case and
whose intervention was unauthorized by the prisoners'
counsel.[60]
The Chief
Justice added that:
Indeed,
if there were no restriction on "next friend" standing
in federal courts, the litigant asserting only a generalized
interest in constitutional governance could circumvent
the jurisdictional limits of Art. III simply by assuming
the mantle of "next friend."[61]
A Supreme
Court decision allowing lawyers to attempt to represent
any stranger would have opened a wide door to the prolongation
of capital and perhaps other types of litigation. If
that were generally permitted, neither the public, the
bar, nor the courts could be certain when a case was
concluded. High-minded lawyers, as well as some others,
might have strong feelings about various types of cases,
though probably not many would go as far as to emulate
the tactics of Fyke Farmer and Daniel Marshall on behalf
of the Rosenbergs. The Supreme Court's refusal to approve
such a procedure thus protected a public interest which
overall may be more important than anything else involved
in the Rosenberg case. I suspect that few, if
any, lawyers or judges would go so far as to believe
that such a procedure for prolonging cases by outsiders
should be open in all types of litigation, including
criminal.
The three
dissenting Justices and doubtless other critics of the
Rosenberg decision have insisted that such a
limitation should not apply to death sentences. Justice
Douglas's response to the suggestion that the Rosenbergs
were raising
the question too late concluded:
The
question of an unlawful sentence is never barred. No
man or woman should go to death under an unlawful sentence
merely because his lawyer failed to raise the point.
It is that function among others that the Great Writ
[of habeas corpus] serves... Here the trial court
was without jurisdiction to impose the death penalty,
since the jury had not recommended it.[62]
In response
to the similar argument advanced in the Whit-more
case that "a relaxed application of standing principles"
was warranted when a death penalty was imposed, Chief
Justice Rehnquist declared that:
The short
answer to this suggestion is that the requirement of
an Art. III "case or controversy" is not merely a traditional
"rule of practice, "but rather is imposed directly by
the Constitution. It is not for this Court to employ
untethered notions of what might be good public policy
to expand our jurisdiction in an appealing case... [R]estraint
is even more important when the matter at issue is the
constitutional source of the federal judicial power
itself.[63]
Unquestionably,
petitions for habeas corpus can raise constitutional
contentions not previously presented which would otherwise
have been untimely. The unique feature of the Rosenberg
case, however, was that the new contentions were
raised by lawyers having no connection with the defendants
or the case. To say that such a remedy may be invoked
if a criminal sentence is unlawful" means that a court
must act on anything a lawyer claims to be unlawful.
This would open the door for any lawyer to require a
court, and eventually the whole tier of trial and appellate
courts, to consider every such claim even if it has
no merit. The policy that lawsuits should eventually
terminate must apply to some extent to capital punishment
as well as to other types of cases or sanctions, even
though perhaps not as strictly.
A different
decision in the Rosenberg case on this point
might have enabled some capital cases to be continued
even longer than they now are. Whether that is deemed
desirable is likely to depend on one's attitude toward
capital punishment. If one is opposed to the death penalty,
the proper remedy should be to abolish it, not to permit
capital cases to be prolonged indefinitely.
The imposition
of death sentences on the Rosenbergs may well have been
the result of bad luck. The most important factor was
probably the assignment of the case to then District
Judge Kaufman, who was a tough judge for criminal defendants
generally as well as for the Rosenbergs. If Klaus Fuchs
had been captured and tried in the United States instead
of England, Judge Kaufman might have known that he rather
than the Rosenbergs and Greenglass was primarily responsible
for the disclosure of atomic bomb secrets to the Soviet
Union, and thus for the loss of American lives during
the Korean War.[64] And only between the
fall of 1949 and 1954 was the Supreme Court (between
1940 and 1969) so composed as to have been likely
to have overridden Justices Black, Frankfurter and Douglas.[65]
What I knew
at the time and what I have learned since leaves me
with no doubt as to the Rosenbergs' guilt. I was not
at all sure that a death sentence was warranted, particularly
for Mrs. Rosenberg. Even though we were at war in 1944
and 1945, when the atomic secrets were transmitted
to it, Russia was not then an enemy of the United States
but an ally. The reason given by Judge Kaufman for imposing
such a sentence was substantially undermined by the
subsequent disclosure that Klaus Fuchs had almost certainly
turned over much more damaging information to the Soviet
Union at or about the same time. But the severity of
a sentence within lawful limits is not within the province
of appellate judges or lawyers to decide. (As to this
the federal law, at least, is no longer so rigid under
the new Sentencing Commission Act.) I am not persuaded
that the capital punishment provision of the 1946 Atomic
Energy Act governed a conspiracy which in large part
was effectuated before 1946. I would not be so sure
if all or most of the acts had occurred thereafter,
even though the literal words of sec. 10(b) (6) still
seem to me to be decisive.
Despite
the charges made against many members of the Court,
in part by each other, I am not convinced that the actions
of any of them, most of whom I knew, were improperly
motivated by either a liberal or conservative bias,
or personal motives or dislikes which undoubtedly existed.
This cannot, of course, be proved or disproved. Even
though the Justices differed in ability and outlook,
there is no reason to doubt that they were acting with
judicial integrity. Nor, at least in retrospect, am
I persuaded that time was sufficiently of the essence
to justify the pressure for an immediate execution of
the defendants without allowing lawyers and judges time
to give careful consideration to a new question. But
I can understand why judges who had rejected requests
for relief over and over again during the preceding
months should--entirely apart from the presumed pressures
from anti-Communist public opinion--feel that further
delay would merely be giving in to dilatory tactics,
contrary to the reasonable public interest against undue
delay in enforcement of the law.
Endnotes
- Rosenberg
v. United States, 346 U.S. 273, 295-296 (1953).
- M. Parrish,
"Cold War Justice: The Supreme Court and the Rosenbergs,"
82 Am. Hist. Rev. 805, 811 n (1977).
- 346 U.S.
at 312.
- A leading
volume supporting the conviction is The Implosion
Conspiracy (1973) by Louis Nizer who relied mainly
on the trial transcript. On the other side, see
Invitation to an Inquest (1965 and 1983) by Walter
and Miriam Schneir (1965 and 1983), Was Justice
Done? (1956), by Malcolm P. Sharp, and Fatal
Error (1989), by Joseph H. Sharlitt. For articles
disagreeing as to the conduct of members of the Supreme
Court see M. Parrish, "Cold War Justice: The
Supreme Court and the Rosenbergs," 82 Am. Hist.
Rev. 805 (1977), and "Justice Douglas and the
Rosenberg case: A Rejoinder," 70 Corn. L. Rev.
1048 (1985); W. Cohen, "Justice Douglas and the Rosenberg
Case: Setting the Record Straight," 70 Corn. L.
Rev. 211 (1985).
- Ronald
Radosh and Joyce Milton, The Rosenberg File: A
Search for the Truth. 1982. Page xiv.
- Id.
at 450.
- Fuchs,
an atomic scientist, had escaped from the United States
to Great Britain where he was eventually convicted,
imprisoned for a number of years, and released to
lie for many years in East Germany. He undoubtedly
knew and disclosed to the Soviet Union a great deal
more than did the Rosenbergs, David Greenglass, and
their other associates.
- Radosh,
Milton, supra note 5 at 451.
- Id.
- Id.
10a. Recently
released information indicates that the secrets the
Rosenbergs passed to the Soviet Union were more valuable
than previously believed. In tapes recorded after
his forced retirement, but withheld from his earlier
memoirs, Nikita Khruschev stated expressly: "I was
part of Stalin's circle when he mentioned the Rosenbergs
with warmth. I cannot specifically say what kind of
help they gave us, but I heard from both Stalin and
Molotov, then Minister of Foreign Affairs, that the
Rosenbergs provided very significant help in accelerating
the production of our atom bomb. Let this be a worthy
tribute to the memory of those people. Let my words
serve as an expression of gratitude. . . ." Time,
October 1, 1990.
- 40 Stat.
217-219 (1917), now 18 U.S.C. sec. 794.
- 344 U.S.
838.
- 344 U.S.
889-90.
- 345 U.S.
965.
- 346 U.S.
at 279.
- Id.
at 280.
- Id.
at 293.
- Filed
in the Library of Congress Manuscript Division.
- Justice
Frankfurter's memorandum, p. 8, Addendum, p. 4.
- Parrish,
Cohen, supra note 4.
- 70 Corn.
L. Rev. at 231.
- 346 U.S.
at 282.
- W. Douglas,
The Court Years, 80 (1980).
- 40 Stat.
217, 218-19 (1917).
- 60 Stat.
755, 766-767 (1946).
- 346 U.S.
at 295.
- Id.
at 313-321.
- Id.
at 312.
- 60 Stat.
768 (1946), as to which see pp. 85, infra.
- The
Court Years, p. 81.
- 346 U.S.
at 283.
- Id.
at 321.
- The
Court Years, p. 80.
- 346 U.S.
at 287.
- Id.
at 293.
- Id.
at 291.
- Id.
at 287.
- Id.
- Radosh,
Milton, supra note 5 at 409.
- The
Court Years, p. 79.
- Radosh,
Milton, supra note 5, at 409-410.
- Id.
- Id.
at 327-29, 407-09.
- 346 U.S.
at 296.
- Id.
at 294-95.
- Id.
at 295.
- Id.
at 295-96.
- J. Newman,
"Control of Information Relating to Atomic Energy,"
56 Yale L.J. 769, 790 (1947).
- 346 U.S.
at 307-09.
- Sen.
Rept. 91-533, 91st Cong., 1st
Sess. (1969).
- In United
States v. Harper, 729 F. 2d 1216, 1225-26 (1984).
- 408 U.S.
238 (1972).
- 428 U.S.
153, 185 (1976).
- 346 U.S.
at 291-292.
- The
Court Years, p. 79.
- Id.
at 291.
- 429 U.S.
1012 (1978).
- Id.
at 1014.
- 58 USLW
4495.
- Id.
at 4499.
- Justices
Marshall and Brennan, who dissent from all death sentences,
thought it more significant that in Rosenberg the
majority "addressed the application on its merits."
(58 USLW 4504, n. 7). But this gives no weight to
the majority's disapproval of the procedure invoked
by the "next friend" in that case.
- 346 U.S.
at 312-13.
- 58 USLW
at 4498-99.
- In light
of the recent disclosure in the Khruschev tapes, see
supra note 10a, the Rosenbergs' role in the
development of the Soviet Union's atomic bomb may
be greater than was previously believed.
- In 1949
liberal Justices Frank Murphy and Wiley Rutledge died
and were replaced by Tom Clark and Sherman Minton.
In 1953, within a few months of the Rosenberg decision,
Chief Justice Vinson died and was replaced by Earl
Warren, and in 1955 John Harlan replaced Robert Jackson.